United States Securities and Exchange Commission Decisions and Reports, V. 52, October 1, 1994 to May 27, 1997U.S. Government Printing Office, 1999 - 1359 pages |
From inside the book
Results 1-3 of 73
Page 225
... hearing . At that time , the Company stated that it might subsequently request an oral hearing.22 While Biorelease indicated on several occasions that it wanted an oppor- tunity to discuss its position before any action by the NASD , 23 ...
... hearing . At that time , the Company stated that it might subsequently request an oral hearing.22 While Biorelease indicated on several occasions that it wanted an oppor- tunity to discuss its position before any action by the NASD , 23 ...
Page 560
... hearing panel . Counsel A's motion asked that the hearing be resched- uled to a " different date " or , in the alternative , for 45 days so that Falcon could retain new counsel.29 The panel denied both motions on April 19th , six days ...
... hearing panel . Counsel A's motion asked that the hearing be resched- uled to a " different date " or , in the alternative , for 45 days so that Falcon could retain new counsel.29 The panel denied both motions on April 19th , six days ...
Page 828
... hearing . Counsel did not prevent the three Olde Corp. employees from testifying , and they were in fact examined at the hearing by H. Burns.18 ( E ) H. Burns advised the hearing officer at the hearing that he wished to call his ...
... hearing . Counsel did not prevent the three Olde Corp. employees from testifying , and they were in fact examined at the hearing by H. Burns.18 ( E ) H. Burns advised the hearing officer at the hearing that he wished to call his ...
Common terms and phrases
aff'd agreement Applicants Article III asserts Association of Securities broker broker-dealer BT Securities capital claims clients Commission Chairman LEVITT common stock compliance counsel County Pools customers December decision denied disclose District Committee Druz El Paso Entergy equitable principles EWGS fact failed Fair Practice FERC firm's funds Genexus GNMA hearing interest investment adviser investors issue June law judge LEVITT and Commissioners market maker markups member firm ment Merrill Lynch million misconduct municipal securities NASD found NASD Manual CCH NASD's Rules Nasdaq National Association NYSE offering Orange County Paine Webber PaineWebber penny stock person Petrantis principles of trade procedures purchase pursuant record registered representative REGISTERED SECURITIES ASSOCIATION rejected or sustained repurchase agreements request responsible retail Rules of Fair Section Section 10(b Securities Act Securities Dealers Securities Exchange Act shares statements supervision supervisor testified tion transactions Unterbach